ASSET & FINANCIAL PLANNING, LTD
CRD #110709 SEC #801-20784 POUGHKEEPSIE, NY 845-485-3338
SEC Registered
Total AUM
$589.9M
Discretionary
$589.9M
Employees
51
Clients
11
Accounts
3,946
Firm Details
- Organization Type
- Corporation
- State of Formation
- New York
- Fiscal Year End
- JUNE
- Registration Date
- --
- Latest Filing
- Jul 20, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| AKABAS, SETH, A | I | DIRECTOR | NA | |
| AKABAS, SETH, A | I | DIRECTOR | NA | |
| AKABAS, SETH, A | I | DIRECTOR | NA | |
| BARON, MARSHALL, IAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARON, MARSHALL, IAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARON, MARSHALL, IAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARON, MARSHALL, IAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BARON, MARSHALL, IAN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BURNS, WILLIAM, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BURNS, WILLIAM, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BURNS, WILLIAM, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| BURNS, WILLIAM, J | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| CIOCIA, JAMES, COSMO | I | DIRECTOR/VICE PRESIDENT | NA | |
| CIOCIA, JAMES, COSMO | I | DIRECTOR/VICE PRESIDENT | NA | |
| CIOCIA, JAMES, COSMO | I | DIRECTOR/VICE PRESIDENT | NA | |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF ACCOUNTING OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER, TREASURER & DIRECTOR | NA | |
| CONROY, DENNIS, MICHAEL | I | CHIEF FINANCIAL OFFICER | NA | Control |
| DUNCAN, JENNY, ALICE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN RYAN, CAROLE, ELLEN | I | DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATIONS OFFICER | NA | |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATIONS OFFICER | NA | |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATIONS OFFICER | NA | |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF COMPLIANCE OFFICER, CHIEF OPERATIONS OFFICER, SENIOR VICE PRESIDENT & DIRECTOR | NA | |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| ENISMAN, CAROLE, ELLEN | I | CHIEF OPERATING OFFICER & DIRECTOR | NA | Control |
| FINKELSTEIN, TED, H | I | GENERAL COUNSEL | NA | Control |
| FINKELSTEIN, TED, H | I | GENERAL COUNSEL | NA | Control |
| FINKELSTEIN, TED, H | I | GENERAL COUNSEL | NA | Control |
| FINKELSTEIN, TED, H | I | GENERAL COUNSEL, VICE PRESIDENT & SECRETARY | NA | Control |
| FINKELSTEIN, TED, H | I | GENERAL COUNSEL | NA | Control |
| FINKELSTEIN, TED, H (MI ONLY) | I | GENERAL COUNSEL, VICE PRESIDENT & SECRETARY | NA | Control |
| FISHER - KISAK, KAREN | I | FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER - KISAK, KAREN | I | FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| FISHER, KAREN, NMN | I | TREASURER & FINANCIAL OPERATIONS OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| GREENSTEIN, IVAN, HUGH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| KELLY, CHRISTOPHER, RAYMOND | I | GENERAL COUNSEL | NA | Control |
| KELLY, CHRISTOPHER, RAYMOND | I | GENERAL COUNSEL | NA | Control |
| KELLY, CHRISTOPHER, RAYMOND | I | GENERAL COUNSEL | NA | Control |
| MCBRIDE, CARLETON, GLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MCBRIDE, CARLETON, GLEN | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOFFETT RUDDEN, ROSE, (NMN) | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD, M. | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD,, M., MI ONLY | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD,, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD,, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD,, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MORRA, GERARD,, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | SECRETARY | NA | |
| MOTTA, CHRISTOPHER, JOHN | I | VICE PRESIDENT OPERATIONS | NA | Control |
| NAPOLITANO, AMY, ANN | I | DIRECTOR OPERATIONS | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | DIRECTOR OPERATIONS | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| NAPOLITANO, AMY, ANN | I | PRESIDENT | NA | Control |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PALMA, JOHN, JOSEPH | I | SECRETARY | NA | |
| PALMA, JOHN, JOSEPH | I | CHIEF FINANCIAL OFFICER | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | VICE-PRESIDENT SECRETARY | NA | |
| PORPORA, RALPH, ANTHONY | I | VICE-PRESIDENT SECRETARY | NA | |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | VICE-PRESIDENT SECRETARY | NA | |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | |
| PORPORA, RALPH, ANTHONY | I | EX. VICE-PRESIDENT & DIRECTOR | NA | Control |
| POVINELLI, THOMAS | I | DIRECTOR/ VICE PRESIDENT | NA | |
| POVINELLI, THOMAS | I | DIRECTOR/ VICE PRESIDENT | NA | |
| POVINELLI, THOMAS | I | DIRECTOR/ VICE PRESIDENT | NA | |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT/TREASURER | NA | |
| RYAN, MICHAEL, PETER | I | PRESIDENT/TREASURER | NA | |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT/TREASURER | NA | |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, CEO, DIRECTOR | NA | |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| RYAN, MICHAEL, PETER | I | PRESIDENT, & DIRECTOR | NA | Control |
| SACHER, STEPHEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | |
| SACHER, STEPHEN, BRUCE | I | CHIEF FINANCIAL OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| SOUTHARD, NANCY, ELAINE | I | CHIEF COMPLIANCE OFFICER | NA | |
| TRAVIS, KATHRYN | I | SECRETARY | NA | Control |
| TRAVIS, KATHRYN | I | SECRETARY | NA | Control |
| TRAVIS, KATHRYN | I | DIRECTOR/ VICE PRESIDENT | NA | |
| TRAVIS, KATHRYN | I | DIRECTOR/ VICE PRESIDENT | NA | |
| TRAVIS, KATHRYN | I | SECRETARY | NA | Control |
| TRAVIS, KATHRYN | I | DIRECTOR/ VICE PRESIDENT | NA | |
| TRAVIS, KATHRYN | I | SECRETARY | NA | |
| GILMAN & CIOCIA, INC. | DE | OWNING COMPANY | E | Control |
| GILMAN & CIOCIA, INC. | DE | OWNING COMPANY | E | Control |
| GILMAN & CIOCIA, INC. | DE | OWNING COMPANY | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN + CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
| GILMAN CIOCIA, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN + CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| LANDES, JOSHUA, HAIM | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN + CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| OBUS, NELSON, JAY | I | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL MANAGEMENT, LLC | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD CAPITAL, INC. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I | DE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN + CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD | FE | GILMAN CIOCIA, INC. | F | |
| NATIONAL HOLDINGS CORPORATION | DE | GILMAN CIOCIA, INC. | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | GILMAN CIOCIA, INC. | E | Control |
| NATIONAL HOLDINGS CORPORATION | DE | GILMAN CIOCIA, INC. | E | Control |
Registrations
Federal
IA
Jul 20, 2012 REGISTERED
Notice Filings (51)
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